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Registration Proxy Advisors

Allen Matkins

Proxy Advisory Firms – What About State Registration?

Allen Matkins on

Yesterday’s post discussed why proxy advisory firms are likely to meet the definition of “investment adviser” under the Investment Advisers Act of 1940. I noted that some proxy advisory firms, such as ISS and Marco...more

Allen Matkins

Proxy Advisory Firms And Investment Adviser Registration

Allen Matkins on

Recently, I wrote about a shareholder proposal seeking to hold a proxy advisor popularity contest. I commented that this could raise some interesting compliance challenges for proxy advisory firms that are registered as...more

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